Human Resource Management Diagnostic Instrument. Actionable Governance Indicators. Module A: Civil Service Labor Regime

Transcription

1 Human Resource Management Diagnostic Instrument Actionable Governance Indicators Module A: Civil Service Labor Regime Section I: Institutional Arrangements

2 Module A: Civil Service Labor Regime This module of the Human Resource Management Actionable Governance Indicators (HRM AGI) diagnostic instrument is designed to facilitate assessment of the civil service labor regime in a given country s public administration. Four separate modules are designed to assess four distinct categories of public employees: - Civil servants (Module A) - Service delivery professionals (Module B) - Contract workers (Module C) - Politically appointed officials (Module D) Each module consists of three sections that focus on a broad dimension of human resource management (HRM) institutions and practices: (i) institutional arrangements, i.e. the legal framework (laws, decrees and other forms of subsidiary legislation) and in-practice features such as rules, procedures and assignment of responsibility; (ii) organizational capacities, i.e. whether the agents assigned various HRM responsibilities have adequate capacities to carry out their functions with respect to the core objectives of HRM, and (iii) HRM system performance, i.e. the extent to which core HRM objectives are being achieved. Core Objectives for Civil Service Management (CSM) Overall, there are six core objectives posited for management of the civil service cadre. The three sections assess the following core objectives as they relate to 'institutional arrangements', 'organizational capacities' and ' HRM system performance', respectively: 1. Attract and retain required human capital 2. Ensure fiscally sustainable wage bill 3. Ensure depoliticized, meritocratic CSM 4. Ensure performance-focusing CSM 5. Ensure ethical behavior by civil servants 6. Ensure effective working relationships with other cadres Definitions: The civil service labor regime is the set of rules governing the management of civil servants. Those rules may be established in the country s Constitution, laws or subsidiary legislation, such as regulations, Government decrees or other legal instruments with legal standing (e.g., Presidential decrees or orders, Ministerial decrees or orders, etc.).these rules give greater due process protections to civil servants than are available under that country's private sector labor law. Civil servants are a particular subset of public employees, defined in that legal framework.civil servants are distinguished from other public employees primarily being afforded greater due process protections than apply under the country s private sector labor law.

3 Overview - Section I: Institutional Arrangements This section contains questions related to the following topics: Background Information 1. Civil service legal framework 2. Due process protections 3. Civil service management objectives 4. Division of responsibility and authority 5. Remuneration and Non-remuneration policies and practices 6. Wage bill and establishment control 7. Recruitment and selection 8. Disciplinary procedures and practices 9. Redress 10. Code of ethics and asset declaration 11. Performance-focusing civil service management 12. Promotions and transfers procedures and practices 13. Stability of the highest ranking civil servants 14. Working relations between cadres

4 Background Information 1. Please enter country name in the space below 2. Categories of civil servants within the civil service labor regime: Please provide a brief description (e.g., title, grade, etc.) of the range of civil service positions within each of the categories identified below; i.e., describe the highest and the lowest ranking titles that you would consider to fall within each of the categories within your country s civil service. If a given category of civil servants is not part of the civil service labor regime, please type '-777' (for 'Not applicable') in the box. When answering questions relating to categories of civil servants, throughout the three sections of the instrument, please answer on the basis of the examples you have provided below. High level managers Middle-level managers Professional staff Technical staff Administrative & clerical staff Skilled & semi-skilled manual laborers Unskilled workers

5 1. Civil Service Legal Framework A civil service labor regime is the set of rules governing the management of civil servants. Those rules may be established in the country s Constitution, laws or subsidiary legislation, such as regulations, Government decrees or other legal instruments with legal standing (e.g., Presidential decrees or orders, Ministerial decrees or orders, etc.).these rules give greater due process protections to civil servants than are available under that country's private sector labor law. Civil servants are a particular subset of public employees, defined in that legal framework.civil servants are distinguished from other public employees primarily being afforded greater due process protections than apply under the country s private sector labor law. 3. Does the existing legal framework specify a distinct civil service labor regime? Yes No Please provide references to the relevant provisions of the applicable laws/rules and briefly explain

6 4. The civil service system in your country is best characterized as (select one): Career-based system Position-based system Hybrid (mixture of the above two) Other Please provide references to the relevant provisions of the applicable laws/rules and briefly explain

7 2. Due Process Protection Due process protections are rules that require various checks on the exercise of human resource management authority, in order to reduce the odds of arbitrary exercise of that authority. They can include, but are not necessarily limited to devices such as: (i) ex ante clearances required for particular HRM actions; (ii) ex post oversight of HRM practices; (iii) redress mechanisms. 5. Does the civil service enjoy stronger due process protections than are afforded under the country s private sector labor law? Yes No Please provide references to the relevant provisions of the applicable laws/rules and briefly explain

8 3. Civil Service Management Objectives 6. Does the legal framework governing the civil service identify each of the following as objectives of that legal framework? Please answer for each of the six civil service management (CSM) objectives below. Yes No Attract and retain required human capital Ensure fiscally sustainable wage bill Ensure depoliticized, meritocratic CSM Ensure performance-focusing CSM Ensure ethical behavior by civil servants Ensure effective working relationships with other cadres Please provide references to the relevant provisions of the applicable laws/rules

9 4. Division of Responsibility and Authority 4.1. Division of Responsibility and Authority - Policy Setting Agents are public entities or organizations, created by the Constitution, laws or regulations of the country, and financed by the budget. They may be within the executive, legislative or judicial branch, or they may be autonomous or semi-autonomous entities, with some form of accountability to some particular element of either the executive, legislative or judicial branch (e.g., the head of a given such entity is appointed by the Parliament). Centralized agents are agents who are assigned specific responsibilities and authority over the civil service management actions of other (hierarchically lower) agents. 7. Is policy setting assigned to a set of centralized agents? Yes No If the answer is 'Yes", please provide references to the relevant provisions of the applicable laws/rules and specify the name(s) of the agent(s)

10 4.2. Divisions of Responsibility and Authority - Day-to-Day Management Policy objectives of the organization(s) within which civil servants work are distinct from the objectives of the civil service legal framework. They are specific to those organizations, rather than to the management of civil servants. They are the reasons those organizations exist; i.e., they are the purposes of the policies and programs which a given organization is responsible for implementing or delivering. 8. Day-to-day management of civil servants is assigned to which of the following agents: A single central agent (e.g., a Civil/Public Service Commission or Personnel Management Office) Ministries, departments and agencies (MDAs) Joint management by a central agent and MDAs Don t know Please provide references to the relevant provisions of the applicable laws/rules and briefly explain. Also specify the name(s) of the agent(s)

11 9. Is responsibility for day-to-day management of civil servants unambiguously assigned? (i.e., the legal framework ensures that when any particular civil service management (CSM) action has been taken, there is no ambiguity as to whether the agent taking that action, and no other agent, had the authority to do so.) Yes: For any given day-to-day HRM action with respect to a given civil servant, a single, clearly defined agent has final authority. No: For some day-to-day HRM actions with respect to a given civil servant, multiple agents are authorized to take that action. Please provide references to the relevant provisions of the applicable laws/rules and briefly explain

12 4.3. Divisions of Responsibility and Authority - Career Management 10. Career management of civil servants is assigned to which of the following agents: a. A single central agent (e.g., a Civil/Public Service Commission or Personnel Management Office) b. A single central agent with input mandated from MDAs c. MDAs with no oversight by a central agent d. MDAs with oversight by a central agent e. Don t know Please provide references to the relevant provisions of the applicable laws/rules and briefly explain. Also specify the name(s) of the agent(s) 11. If you answered b in response to Q.10 above, please specify how frequently the input of MDAs is incorporated in the career management decisions carried out by a central agent: Always Sometimes Rarely Never Don t know

13 12. If you answered d in response to Q. 10, please specify how frequently the career management decisions taken by MDAs are subjected to oversight by a central agent: Always Sometimes Rarely Never Don t know. 13. Is responsibility for career management of civil servants unambiguously assigned? (i.e., the legal framework ensures that when any particular career management action has been taken, there is no ambiguity as to whether the agent taking that action, and no other agent, had the authority to do so) Yes: For any given career management action with respect to a given civil servant, a single, clearly defined agent has final authority. No : For some career management actions with respect to a given civil servant, multiple agents are authorized to take that action. Please provide references to the relevant provisions of the applicable laws/rules and briefly explain

14 4.4. Divisions of Responsibility and Authority - Oversight 14. Oversight of civil service management practices is assigned to which of the following agents: A single central agent (e.g., a Civil/Public Service Commission or Personnel Management Office) Multiple agents Not assigned to any specific agent Don t know Please provide references to the relevant provisions of the applicable laws/rules and briefly explain. Also specify the name(s) of the agent(s)

15 4.5. Divisions of Responsibility and Authority - Independent Redress Definitions: Redress means adjudicating challenges to particular civil service management actions, in which the complainant claims that the particular civil service management action violated one or more requirements of the civil service legal framework including his/her rights as civil servant Independent means that this agent has no membership overlap with any of the agents whose HRM actions are subject to redress through this redress agent. 15. Responsibility for redress with respect to CS management actions is assigned to which of the following agents: A single central agent (e.g., Civil/Public Service Commission or Personnel Management Office) Multiple central agents Responsibility not assigned to any specific central agent Don t know Please provide references to the relevant provisions of the applicable laws/rules and briefly explain. Also specify the name(s) of the agent(s)

16 16. Is the redress agent independent of the agents exercising both policy setting and civil servant management authority? gfedc gfedc gfedc gfedc Yes, the redress agent is independent of the agents exercising policy setting authority Yes, the redress agent is independent of the agents exercising civil servant management authority No, the redress agent is not entirely independent from agents whose HRM actions are subject to redress. Please provide references to the relevant provisions of the applicable laws/rules and briefly explain

17 4.5. Divisions of Responsibility and Authority - Independent Redress (2) 17. Is responsibility for redress unambiguously assigned? (i.e., the legal framework ensures that when any particular redress action has been taken, there is no ambiguity as to whether the agent taking that action, and no other agent, had the authority to do so) Yes: For any given redress action with respect to a given civil servant, a single, clearly defined agent has final authority. No : For some redress actions with respect to a given civil servant, multiple agents are authorized to take that action. Please provide references to the relevant provisions of the applicable laws/rules and briefly explain

18 5. Remuneration and Non-remuneration Policies and Practices 5.1. Remuneration Policies and Practices This part of the assessment is designed to capture information on remuneration and non-remuneration policies in the civil service. Definitions: Remuneration (or pay) policies are the rules or parameters governing the magnitudes of any of the elements of remuneration to be assigned to individual civil servants or their positions on the basis of characteristics of the position or the civil servant. Total remuneration package includes all benefits provided to an employee for the work responsibilities he/she shoulders. This includes, inter alia, all financial benefits (base pay, allowances, additions to salary, etc.) as well as all in kind benefits (e.g., housing, use of a car and driver, etc.). Total financial remuneration includes all forms of monetized remuneration paid to an employee (e.g., base pay, allowances, additions to salary, etc.), but excludes in-kind benefits. Overall ratio of public/private sector total remuneration means average total remuneration package for a given category of civil servants divided by the average total remuneration package for a comparable category (i.e. similar skill sets, responsibilities and authorities) of private sector employees.

19 18. What is the overall ratio of public/private sector total remuneration packages for each type of civil service positions? Notice: Enter data as a percentage. If data is not collected, please enter -999 in the box. If a certain category is not encompassed by the Civil Service Law, please enter -777 (i.e. Not Applicable) in the box. High level managers Middle-level managers Professional staff Technical staff Administrative & clerical staff Skilled & semi-skilled manual laborers Unskilled workers

20 19. What is the overall ratio of public/private sector total financial remuneration for each type of civil service positions? Notice: Enter data as a percentage. If data is not collected, please enter -999 in the box. If a certain category is not encompassed by the Civil Service Law, please enter -777 (i.e. Not Applicable) in the box. High level managers Middle-level managers Professional staff Technical staff Administrative & clerical staff Skilled & semi-skilled manual laborers Unskilled workers 20. Please, provide a brief explanation of the data source that allowed you to answer Question No. 18 & 19 above.

21 5.1. Remuneration Policies and Practices (2) Audit trails are records, either written or electronic, that generate a piece of evidence of when an action occurred and who took it. 21. Please specify whether the following characteristics are present in the civil service compensation system: (*in law) Don't Yes No know There are explicit criteria for assigning posts (or the persons selected to occupy given posts) to cells in the salary scale or grid? Individual salary-determining personnel actions are cleared by a third-party (e.g., a central authority), to ensure compliance with rules governing such personnel actions Personnel management procedures require actions that generate written or electronic records (audit trails) for individual salary setting actions Please provide a reference to the relevant provisions of the applicable laws/rules that delineate the characteristics of the civil service compensation system 22. If you answered 'Yes' in response to any of the sub-sections of Q. 21 above, please specify whether the following characteristics are actually functional in the civil service compensation system: (*in practice) Explicit criteria are used for assigning posts (or the persons selected to occupy given posts) to cells in the salary scale or grid? Individual salary-determining personnel actions are cleared by a third-party (e.g., a central authority), to ensure compliance with rules governing such personnel actions Don't Always Sometimes Rarely Never know Written or electronic records (audit trails) for individual salary setting actions are generated Written or electronic records (audit trails) for individual salary setting actions are reliable in practice Please give a brief explanation if the reply to any of the sub-sections of the question is not 'Always'

22 5.1 Remuneration Policies and Practices (3) 23. Which of the following in-kind benefits are provided to civil servants in the following groups : Skilled & semiskilled manual Unskilled workers High-level Middle-level Administrative & Professional staff Technical staff managers managers clerical staff laborers Housing Vehicle and driver Land Other If the answer is 'Other', please specify. Also use the space below to provide references to the relevant provisions of the applicable laws/ rules and give your comments, if any

23 5.2. Salary Setting and Pension Liabilities Policy Actions Definitions: Salary setting policy actions are changes in the rules or parameters determining the magnitudes of any of the elements of remuneration to be assigned to individual civil servants or their positions on the basis of characteristics of the civil servant or the position. Policy changes that impact pension liabilities are changes in the rules or parameters governing pension rights of civil servants. Pension liabilities are financial commitments made by governments to provide particular pension benefits to civil servants upon retirement. These are typically conditioned on aspects like length of service and pay history of the individual civil servant. 24. Do salary setting policy actions that would impact the civil service wage bill require the review and clearance of a central authority (e.g., the Ministry of Finance)? Yes, always Yes, sometimes No If yes, please describe the agent who has been assigned the responsibility. Also provide a reference to the relevant provisions of the applicable laws/rules that prescribe the above mentioned review and clearance

24 5.2. Salary Setting and Pension Liabilities Policy Actions (2) 25. Do policy changes, that impact civil service pension liabilities, require the review and clearance by a central authority (e.g., the Ministry of Finance)? Yes, always Yes, sometimes No If yes, please describe the agent who has been assigned responsibility. Also provide a reference to the relevant provisions of the applicable laws/rules that prescribe the above mentioned review and clearance

25 5.3. Non remuneration policies and practices Definition: Non remuneration policies and practices are those policies and practices that affect the attractiveness of working within the civil service either by making the work intrinsically rewarding (or not) or by enhancing (or not) possibilities for career advancement, either within the civil service or by taking one s skills and knowledge elsewhere. 26. Are there explicit policies in place that encourage management/supervisors to employ the following devices to enhance capabilities and/or performance among their staff? (*in-law) Yes No Fairness with which personnel are managed Clarity about work performance expectations and whether they have been met Opportunities to exercise autonomy in one s work On-the-job learning or skills acquisition opportunities Formal training opportunities Mentoring Career advancement within the civil service Praise or other similar non-monetary positive reinforcement Tenure protections Other Please provide a reference to the relevant provisions of the applicable laws/rules that delineate these policies

26 27. If you answered 'Yes' in response to any of the sub-sections of Q. 26, please specify which of the following devices are actually employed by management/supervisors to enhance capabilities and/or performance among their staff? (*in-practice) Always Sometimes Rarely Never Fairness with which personnel are managed Clarity about work performance expectations and whether they have been met Opportunities to exercise autonomy in one s work On-the-job learning or skills acquisition opportunities Formal training opportunities Mentoring Career advancement within the civil service Praise or other similar non-monetary positive reinforcement Tenure protections Other Please give a brief explanation if the reply to any of the sub-sections of the question is not 'Always'

27 5.4. Attracting and Retaining Staff to work in Unattractive Locations 28. Do any of the following policies exist in order to attract and retain qualified staff to unattractive locations? Yes No Rotation requirements as a condition for career advancement Career advancement preference for staff who meet minimum rotation periods in unattractive locations Monetary incentives In-kind incentives (e.g., housing) Other If your answer is 'Other', please specify the incentive mechanism. Also use the space below to provide a reference to the relevant provisions of the applicable laws/rules that delineate these policies

28 5.4. Attracting and Retaining Staff to work in Unattractive Locations Definition: Pooled recruitments: are recruitment exercises in which multiple candidates may be selected, all of whom are considered qualified for employment within a particular cadre of the civil service. In pooled recruitments applicants are not applying for a particular position. Rather, they are applying for employment within a given cadre (e.g., professional cadre, administrative cadre, managerial cadre). 29. For position-specific recruitments, is information on the number of qualified applicants per available position by location being routinely monitored? Yes No 30. For pooled recruitments, is information on the average number of qualified applicants per available position being routinely monitored? Yes No 31. Is information on the turnover of staff, i.e. the number of civil servants who have left the civil service for any reason, by position and by location being routinely collected and monitored? Yes No

29 32. Is information on the number of unfilled positions by staff category by location being systematically collected and monitored? Yes No

30 6. Wage Bill and Establishment Control 6.1. Establishment Control System An establishment control system is a set of rules, procedures and practices whose purpose is to ensure control of both the quantity of personnel and quality of personnel actions covered by that system; i.e., (a)quantity control both authorized civil servant positions and actual numbers of civil servants are both known and kept within limits set by central authorities whose responsibility it is to ensure that the wage bill for civil servants is fiscally sustainable; and (b)quality control rules governing recruitment, selection, promotions, transfers and departures of civil servants are enforced. 33. Is there an establishment control system? Note: If the answer is 'No' or '', please go to Q. No. 42 directly Yes No Please provide a reference to the relevant provisions of the applicable laws/rules that create an establishment system 34. The establishment control system : Is deemed effective Is not deemed completely effective Is not deemed effective at all Please provide an explanation of the evidence used to back-up your assessment

31 6.1. Establishment Control System (2) 35. Which of the following features are included in the design of the establishment control system? I.e., does the central agent responsible for ensuring establishment control have the following authority? Note: Please provide an answer to each item below. Yes No Authorization of posts/positions within the civil service Ex ante clearance before launching a recruitment effort for filling a vacant, authorized post within the civil service Ex ante clearance before appointing a new hire for a vacant, authorized post within the civil service Ex ante clearance before authorizing a promotion (increase in rank or grade) Please provide a reference to the relevant provisions of the applicable laws/rules 36. If you answered 'Yes' in response to any of the sub-sections of Q.35, please specify which of the following features of the establishment control system are actually applied in practice? Always Sometimes Rarely Never Authorization of posts/positions within the civil service Ex ante clearance before launching a recruitment effort for filling a vacant, authorized post within the civil service Ex ante clearance before appointing a new hire for a vacant, authorized post within the civil service Ex ante clearance before authorizing a promotion (increase in rank or grade) Please give a brief explanation if the reply to any of the sub-sections of the question is not 'Always'

32 37. Please provide the name of the central agent(s) with authority to carry out each of the following responsibilities under the establishment control system? Please write "-777" (for Not Applicable) if you answered No to same question above (Q. 35), and -888 if you do not have the answer. Central agent responsible for authorization of posts/positions Central agent responsible for ex ante clearance before launching a recruitment effort for filling a vacant, authorized post Central agent responsible for ex ante clearance before appointing a new hire for a vacant, authorized post Central agent responsible for ex ante clearance is before authorizing a promotion (increase in rank or grade)

33 6.1 Establishment Control System (3) Audit trails are records, either written or electronic, that generate a piece of evidence of when an action occurred and who took it. 38. Do written or electronic records (audit trails) exist to ensure quality of information on recruitments, promotions, transfers, and departures of civil servants? Check all that apply Recruitments Promotions Transfers Departures None Written record (audit trail) gfedc gfedc gfedc gfedc gfedc gfedc Electronic record (audit trail) gfedc gfedc gfedc gfedc gfedc gfedc 39. Which of the following audit devices are used to esure quality of information on recruitments, promotions, transfers, and departures of civil servants? Periodic internal audits of such actions (either on a sampling or full universe basis) Periodic external audits of such actions (either on a sampling or full universe basis) Yes No Don t know Please provide a brief description of the actor(s) responsible for the internal and external audits and provide a reference to the relevant provisions of the applicable laws/rules that mandate the audit

34 40. What is the prescribed frequency for carrying out the following : (*in law) Periodic internal audits of such actions (either on a sampling or full universe basis) Periodic external audits of such actions (either on a sampling or full universe basis) Annual Semi-annual Quarterly Other Please provide a reference to the relevant provisions of the applicable laws/rules that prescribe the frequency of the audits. Moreover if the answer was 'Other' please provide a brief explanation 41. How frequently are these audits actually carried out? (*in practice) Periodic internal audits of such actions (either on a sampling or full universe basis) Periodic external audits of such actions (either on a sampling or full universe basis) Rarely or never Annual Semi-annual Quarterly Don't Know

35 6.2. Wage Bill Control System A wage bill control system is a set of rules, procedures and practices whose purpose is to ensure a fiscally sustainable wage bill, by ensuring that a. Policies governing remuneration are fiscally sustainable (e.g., policies governing salary-scale, additions to salary, pension entitlements etc.); and b. Rules governing implementation of those remuneration policies are enforced. 42. Is there a wage bill control system? Note: If the answer is 'No' or '', please go to Q. No. 56 directly Yes No Please provide a reference to the relevant provisions of the applicable laws/rules that create a wage bill control system 43. The wage bill control system : Is deemed effective Is not deemed completely effective Is not deemed effective at all Please provide an explanation of the evidence used to back-up your assessment

36 44. Which of the following features are included in the design of the wage bill control system? I.e., does the central agent responsible for ensuring wage bill control have the following authority? Yes No Clearance of the job descriptions for each position within the civil service Clearance of the mapping of job descriptions to the salary scale (i.e., for job evaluations) for each position within the civil service Clearance of individual elements of remuneration for an individual civil servant other than that set by the salary scale Please provide a reference to the relevant legal documents/rules 45. If you answered 'Yes' in response to any of the sub-sections of Q.44, please specify which of the following features of the wage bill control system are actually applied in practice? Always Sometimes Rarely Never Clearance of the job descriptions for each position within the civil service Clearance of the mapping of job descriptions to the salary scale (i.e., for job evaluations) for each position within the civil service Clearance of individual elements of remuneration for an individual civil servant other than that set by the salary scale Please provide a brief explanation if reply to the any of the sub-sections of the question is not 'Always'

37 6.2. Wage Bill Control System (2) 46. Please provide the name of the central agent with the authority to carry out each of the following responsibilities as they relate to the wage bill control system? Central agent responsible for clearance of the job descriptions for each position Central agent responsible for clearance of the mapping of job descriptions to the salary scale (i.e., for job evaluations) Central agent responsible for clearance of individual elements of remuneration for an individual civil servant other than that set by the salary scale 47. Are there any rules that require cross-checking of personnel records with payroll records to ensure quality of information on remuneration of civil servants? Note: If the answer is no, please go directly to question 52. Yes No If the answer is 'Yes', please provide a reference to the relevant provisions of the applicable laws/rules that mandate the cross-checking

38 48. Is cross-checking of personnel records with payroll records actually carried out to ensure quality of information on remuneration of civil servants? Always Sometimes Rarely Never If the reply is not 'Always', please give a brief explanation 49. Is cross-checking ensured by link between treasury payroll system and a civil service personnel records system? Yes, through an integrated payroll and personnel system Yes, through two separate systems that allow easy sharing of information Yes, through two separate systems that do not allow easy sharing of information No

39 6.2. Wage Bill Control System (3) 50. How frequently are personnel records being cross-checked with payroll records? Checked at least each pay period Checked quarterly Checked less frequently than quarterly, but more frequently than annually Checked annually Checked less frequently than annually Almost never or never checked Information not available 51. Is the cross-checking process: Automated Manual

40 6.2. Wage Bill Control System (4) 52. Which of the following devices are being used to ensure quality of information on remuneration of civil servants? Yes No Written record (audit trail) generated by all salary setting actions Electronic record (audit trail) generated by all salary setting actions 53. Which of the following audit devices are used to esure quality of information on remuneration of civil service? Periodic internal audits of such actions (either on a sampling or full universe basis) Periodic external audits of such actions (either on a sampling or full universe basis) Yes No Don t know Please provide a brief description of the actor(s) responsible for the internal and external audits and provide a reference to the relevant provisions of the applicable laws/rules that mandate the audit 54. What is the prescribed frequency for carrying out the following : Periodic internal audits of such actions (either on a sampling or full universe basis) Periodic external audits of such actions (either on a sampling or full universe basis) Annual Semi-annual Quarterly Other Please provide a reference to the relevant provisions of the applicable laws/rules that prescribe the frequency of the audits

41 55. How frequently are these audits actually carried out in practice? Periodic internal audits of such actions (either on a sampling or full universe basis) Periodic external audits of such actions (either on a sampling or full universe basis) Rarely or never Annual Semi-annual Quarterly

42 7.1 Recruitment and Selection - Competition Competition for Entry-level Positions Depoliticized, meritocratic civil service management presumes that staff selection procedures include the following requirements or features: (i) competition; (ii) merit-based selection criteria; and (iii) three-stage selection procedure (long-listing, short-listing, final selection) 56. Which of the following policies are in place to ensure competition for entry-level positions? Yes No Advertising for an entry level civil service position is always required Advertising for an entry level civil service position is required, except in exceptional circumstances Explicit criteria defining exceptional circumstances are established in law or subsidiary legislation (e.g., a Government decree) A central authority has the responsibility and authority to decide whether or not explicit criteria have been satisfied If exceptional circumstances are recognized, please describe the explicit criteria that define such circumstances, and which agent has authority to determine whether they have been met in specific situations. Also use the space below to provide a reference to the relevant provisions of the applicable laws/rules that lay out the above mentioned policies

43 Competition for Non-entry Level Positions Definitions: Internal candidates are existing civil servants; i.e., persons who currently have civil servant status or rights. External candidates are candidates who do not currently have civil servant status or rights. 57. Competition for non-entry level positions is open to: Please check all that apply gfedc gfedc gfedc gfedc gfedc Internal and external candidates External candidates added only if a qualified internal candidate is not identified Internal candidates only Don t know Other If you answered 'Other',please explain. Also use the space below to provide a reference to the relevant provisions of the applicable laws/rules that govern the selection for non-entry level positions

44 Competition for Non-entry Level Positions (2) 58. Which of the following policies are in place to ensure competition for non-entry level positions: Yes No Advertising for a non-entry level civil service position is always required Advertising for a non-entry level civil service position is required, except in exceptional circumstances Explicit criteria defining exceptional circumstances are established in law or subsidiary legislation (e.g., a Government decree) A central authority has the responsibility and authority to decide whether or not those explicit criteria have been satisfied If exceptional circumstances are recognized, please describe the explicit criteria that define such circumstances, and which agent has authority to determine whether they have been met in specific situations. Also use the space below to provide a reference to the relevant provisions of the applicable laws/rules that lay out the above mentioned policies 59. Are recruitments (either entry- or non-entry level) that are exempted from advertising, under exceptional circumstances, required to be monitored? Yes No Not applicable If the answer is 'Yes', please provide a reference to the relevant provisions of the applicable laws/rules that mandate this monitoring

45 60. Are recruitments (either entry- or non-entry level) that are exempted from advertising, under exceptional circumstances, actually monitored? Yes No

46 Competition for Non-entry Level Positions (3) 61. If selection for non-entry level positions is restricted to internal candidates (either prior to opening competition to external candidates or always), selection procedures require which of the following: Selection based on competition among all internal candidates meeting minimum qualifications. Selection based on seniority from among candidates meeting minimum qualifications. Other selection procedure requirement If the answer is 'Other',please specify. Also use the space below to provide a reference to the relevant provisions of the applicable laws/rules that govern the selection process 62. What percentage of non-entry level appointments during the most recent quarter (three months) were external candidates? More than 75% Between 10% and 24% Between 50 and 74% Less than 10% Between 25% and 49% Information not available

47 7.2. Recruitment and Selection - Selection Criteria Selection Criteria for Entry-Level Positions 63. Which of the following criteria are employed for selection to entry-level positions? (*in law) Don t Yes No know Knowledge, skills and capacity to take on a position s responsibilities, both technical and inter-personal Performance in previous relevant employment Education Years of relevant experience, regardless of who the employer was Other If the answer is 'Other', please explain. Also provide a reference to the relevant laws/rules that lay out the selection criteria 64. How important are each of the following criteria for selection to entry-level positions? (*in law) Knowledge, skills and capacity to take on a position s responsibilities, both technical and inter-personal The single most Medium Little or no Very important Don t know important criterion importance importance Performance in previous relevant employment Education Years of relevant experience, regardless of who the employer was Other Please provide a reference to the relevant provisions of applicable laws/rules that assign weights to these selection criteria and enumerate the relative weightage of each criterion

48 65. How important are each of the following criteria for selection to entry-level positions in practice? Knowledge, skills and capacity to take on a position s responsibilities, both technical and inter-personal The single most Medium Little or no Very important Don t know important criterion importance importance Performance in previous relevant employment Education Years of relevant experience, regardless of who the employer was Other

49 Selection Criteria for Entry-level Positions (2) 66. Can relevant experience substitute for education in meeting the minimum requirements for an entry-level position? Yes, always Yes, sometimes No Please provide a reference to the relevant provisions of the applicable laws/rules 67. What percentage of entry-level appointments met minimum education requirements for the position? 100% Between 90% and 99% Between 75% and 89% Between 50% and 74% Less than 50% Information not available

50 Selection Criteria for Entry-level Positions (3) 68. Can education substitute for relevant experience in meeting the minimum requirements for an entry-level position? Yes No Please provide a reference to the relevant provisions of the applicable laws/rules 69. What percentage of entry-level appointments met minimum relevant experience requirements for the position? 100% Between 90% and 99% Between 75% and 89% Between 50% and 74% Less than 50% Information not available

51 Selection Criteria for Non-entry Level Positions 70. Which of the following criteria are employed for selection to non-entry level positions? (*in law) Don t Yes No know Knowledge, skills and capacity to take on a position s responsibilities, both technical and inter-personal Performance in previous relevant employment Education Years of relevant experience, regardless of who the employer was Other If the answer is 'Other', please explain. Also provide a reference to the relevant laws/rules that lay out the selection criteria 71. How important are each of the following criteria for selection to non-entry level positions? (*in law) Knowledge, skills and capacity to take on a position s responsibilities, both technical and inter-personal The single most Medium Little or no Very important Don t know important criterion importance importance Performance in previous relevant employment Education Years of relevant experience, regardless of who the employer was Years of relevant experience within the civil service only Other Please provide a reference to the relevant provisions of applicable laws/rules that assign weights to these selection criteria and enumerate the relative weightage of each criterion

52 72. How important are each of the following criteria for selection to non-entry level positions in practice? Knowledge, skills and capacity to take on a position s responsibilities, both technical and inter-personal The single most Medium Little or no Very important Don t know important criterion importance importance Performance in previous relevant employment Education Years of relevant experience, regardless of who the employer was Years of relevant experience within the civil service only Other 73. Can relevant experience substitute for education in meeting the minimum requirements for a nonentry level position? Yes, always Yes, sometimes No Please provide a reference to the relevant provisions of the applicable laws/rules

53 Selection Criteria for Non-entry Level Position (2) 74. What percentage of non-entry level appointments met minimum education requirements for the position? 100% Between 90% and 99% Between 75% and 89% Between 50% and 74% Less than 50% Information not available 75. Can education substitute for relevant experience in meeting the minimum requirements for a nonentry level position? Yes No Please provide a reference to the relevant provisions of the applicable laws/rules

54 76. What percentage of non-entry level appointments met minimum relevant experience requirements for the position? 100% Between 90% and 99% Between 75% and 89% Between 50% and 74% Less than 50% Information not available 77. Is there an agent who is assigned the responsibility to verify job application documentation (e.g. diplomas, previous work experience etc.)for both entry and non-entry level positions? Yes No For entry level positions gfedc gfedc gfedc For non entry level position gfedc gfedc gfedc

55 7.3. Recruitment and Selection - Screening Procedures This section asks about two central aspects of recruitment and selection procedures: (i) the type(s) of screening procedures employed, and (ii) characteristics of the decision points required by those procedures. As in the previous questions regarding the competition requirements and selection criteria, questions are asked separately for entry-level positions and non-entry-level positions Screening Procedures for Entry-level Positions 78. Which of the following types of screening procedures are employed in the selection of entry-level civil servants? (*in law) Yes No Don t know Interviews Written testing Other screening procedure(s) please provide a reference to the relevant provisions of the applicable laws/rules that prescribe the screening procedures. If the answer was 'Other screening procedures', please provide a brief explanation

56 79. How often are each of the following types of screening procedures employed in the selection of entry-level civil servants? (*in practice) Always Often Sometimes Rarely Never Don t know Interviews Written testing Other screening procedure(s) In case of 'Other', please specify 80. How important is each of these types of screening procedures in selection decisions? The most Moderately Marginally Important Not used Don t know important important important Interviews Written tests Other screening procedure(s), In case of 'Other' please specify. Also use the space below to provide a reference to the relevant provisions of the applicable laws/rules that assign weights to different screening procedures

57 7.3.1 Screening Procedures for Entry-level Position (2) 81. How important is each of the following characteristics for assessing candidates? Knowledge of the rules and procedures governing your country s civil service and public administration Professional knowledge or expertise required by the position or career track The most Moderately Marginally Important Not used Don t know important important important Analytical skills Communication skills Inter-personal skills and aptitudes Managerial skills and knowledge Computer skills Other If the answer is 'Other', please describe

58 Screening Procedures for Non-entry Level Positions 82. Which of the following types of screening procedures are employed in the selection of non-entry level civil servants? (*in law) Yes No Interviews Written testing Other screening procedure(s) Please provide a reference to the relevant provisions of the applicable laws/rules that prescribe the screening procedures for non-entry level positions 83. How often are each of the following types of screening procedures employed in the selection of non-entry level civil servants? (*in practice) Always Often Sometimes Rarely Never Don t know Interviews Written testing Other screening procedure(s) In case of 'Other', please specify

59 84. How important is each of these types of screening procedures in selection decisions? The most Moderately Marginally Important Not used Don t know important important important Interviews Written tests Other screening procedure(s) Please specify type(s), if any. Also use the space below to provide a reference to the relevant legal procedures/rules that assign weights to different screening procedures

60 Screening Procedures for Non-entry Level Positions (2) 85. How important is each of the following characteristics for assessing candidates? Knowledge of the rules and procedures governing your country s civil service and public administration Professional knowledge or expertise required by the position or career track The most Moderately Marginally Important Not used Don t know important important important Analytical skills Communication skills Inter-personal skills and aptitudes Managerial skills and knowledge Computer skills Other If other, please describe

61 7.4. Recruitment and Selection - Decision steps Definitions: Long-listing: A long-listing procedure eliminates clearly unqualified candidates from further consideration. It typically involves little more than reviewing CVs to confirm whether each applicant possesses the requisite education, training and experience in the field of expertise required by the position or career stream for which a recruitment process is being undertaken. Short-listing: A short-listing procedure provides a more in-depth review of long-listed candidates, aimed at ranking candidates into at least two categories: (i) those who are qualified enough that the short-listing committee (or agent) would be comfortable if they were the final winners of the competition; and (ii) those who meet the minimum qualifications of the long-listing process, but fail to meet a higher standard, considered to be the minimum for a candidate to be able to fill the available position and carry out its responsibilities competently. Short-listing procedures typically set some maximum on the number of candidates that can be short-listed, and often require that at least some minimum number of candidates meet the short-listing standards before a competition can proceed to final selection. Final selection: A final selection procedure selects one candidate per available position from the short list to be appointed to the available position. The objective of this procedure is to ensure that the best suited candidate from the short list is selected. The procedure typically involves interviews with the short-listed candidates by the agent(s) empowered to make the final selection. External Agent: For the purposes of recruitment and selection procedures,an external agent is an agent that is not part of the civil service management structure. It could be, a professional society, or a body created by and accountable to the legislature (rather than the executive).

62 Long-listing 86. Is long-listing included in the recruitment and selection process? Note: If the answer to this question is 'No' or '', please go directly to question number 90. Yes No Please provide a reference to the relevant provisions of the applicable laws/rules that lay out the long-listing procedure 87. In practice, is long-listing actually carried out during the recruitment and selection process? Yes No